RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J•• S•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Mar 29, 2022 · Seattle, Wa
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 13, 2020 to Mar 30, 2022 · Seattle, Wa
- F••• formerJan 20, 2006 to Sep 24, 2020 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseOct 11, 2001 to Feb 6, 2006 · Seattle, Wa
- B• R•••• W••••• A•••••••• I••• to P•••••• A•••••• G••••• L••left Mar 30, 2022, registered Mar 29, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- F••• to B• R•••• W••••• A•••••••• I•••left Sep 24, 2020, registered Sep 13, 2020 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to F•••left Feb 6, 2006, registered Jan 20, 2006 (-17 days) · Other
- J•• S••••••• left B• R•••• W••••• A•••••••• I••• for P•••••• A•••••• G••••• L•• (registered 2022-03-29)Mar 30, 2022 · a•••••• firm change · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address